Full text of LOCKTON INVESTMENT SECURITIES, LLC's X-17A-5 filed 2025-06-30 (period 2025-04-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART III | | OMB APPROVAL | | | | |---------------------------|--|--|--| | OMB Number: 3235-0123 | | | | | Expires: Nov. 30, 2026 | | | | | Estimated average burden | | | | | hours per response:<br>12 | | | | SEC FILE NUMBER 8-67090 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 05/01/24 04/30/25 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Lockton Investment Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 🇿 Broker-dealer [] Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 444 West 47th Street, Suite 900 | | (No. and Street) | | |----------------------------------------------|---------------------------------------------------------------------------|---------------------------| | Kansas City | MO | 64112 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Susan Hayes | 609-642-6593 | shayes@pattentraining.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | Baker Tilly US, LLP | | | | | (Noma, it individual crato lact prot and middle mamel | | | | | 60601 | | | |--------------------------------------------------|---------------------------------------------|--------------------------------------------------------------------------------------|--|--| | (City) | (State) | (Zip Code) | | | | | 23 | | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | | | | | | | | | | | | | | 205 N. Michigan Avenue, 28th floor Chicago | 11 11:40 Hauten areas 18:55 11:46 ATIA 11114 11114 11114 11<br>FOR OFFICIAL USE ONLY | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}-------…Read the full text as markdown